Debra S. Garcia
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Debra Susan Garcia, who also goes by Debbie Garcia, Debra Susan Lovato, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1992. Debra had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2019 - February 16, 2022
FERMATA ADVISORS
February 14, 2019 - September 30, 2020
CAPE INVESTMENT ADVISORY, INC.
March 12, 2015 - February 16, 2016
ALLSTATE FINANCIAL SERVICES, LLC
July 22, 1992 - November 5, 1993
CARILLON INVESTMENTS, INC.
January 15, 1992 - May 20, 1993
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
FERMATA ADVISORS
CRD#: 305614 / SEC#: 801-117411
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FERMATA ADVISORS
CRD#: 305614 / SEC#: 801-117411
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,095 |
| AUM (Assets Under Management) | $ 1,145,263,457 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
